Michael T. Whitney

NBW CAPITAL LLC

BOSTON, MA 02110

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CRD#: 2970097

Professional summary

Michael Thomas Whitney is a registered financial advisor currently at NBW CAPITAL LLC located in Boston, Massachusetts and WAVERLY ADVISORS, LLC located in Boston, Massachusetts.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Michael has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Whitney's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 21, 2008 - Present

NBW CAPITAL LLC

Office #1: 211 Congress Street Suite 901, Boston, MA 02110

RIA

CRD#: 147306

BOSTON, MA

Current

October 10, 2025 - Present

WAVERLY ADVISORS, LLC

Office #1: 211 Congress Street Suite 901, Boston, MA 02110

RIA

CRD#: 115332

BOSTON, MA

Past

March 2, 2001 - August 20, 2001

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

September 19, 2000 - March 9, 2001

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

June 11, 1998 - September 11, 2000

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

January 1, 1998 - May 22, 1998

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(8/29/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/24/1997

General Securities Representative Examination

Current Firm

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 Approved)

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Contact information

Main Address

600 University Park Place Suite 501, Birmingham, AL 35209

Mailing Address

Phone number

(205) 871-3334

Established

Firm type

Fiscal year end

# of Employees

371

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAVERLY - ADV PART 2A BROCHURE (11/21/2025)

Regulatory assets under management

Total Number of Accounts	34,313
AUM (Assets Under Management)	$ 28,263,743,199

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/27/2025	Cover Page	Report
02/16/2024	Cover Page	Report
06/15/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael T. Whitney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Whitney's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAVERLY ADVISORS, LLC

GLEACHER & COMPANY SECURITIES, INC.

TUCKER ANTHONY INCORPORATED

ADVEST, INC.

TUCKER ANTHONY INCORPORATED

Primary Firm SEC Registration

WAVERLY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1998

Series 7

Date: 12/24/1997

Current Firm

WAVERLY ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WAVERLY ADVISORS, LLC

TRUST BUT VERIFY

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